shall not make underwriting of the following securities, except being granted an exemption from the SEC Office with an approval of the Capital Market Supervisory Board: (1) shares issued or offered for
debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of Newly Issued Structured Debentures or other Instruments having
Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of Newly Issued Shares; “executive” means a manager, deputy manager, assistant manager, departmental
person who appraises the assets shall have any of the following characteristics: (1) being a financial advisor or an asset appraisal firm in the capital market whose name is on the approval list of the SEC
-up capital. In accordance with the definition prescribed in the Notification of Capital Market Supervisory 72/2558 Re: Approval of Offering for Sale of Newly Issue Shares by Listed Companies to the
; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of
in Chapter 3; (b) having obtained an approval from the SEC Office prior to performing function. Chapter 3 Qualifications and Additional Prohibited Characteristics of Personnel in the Capital Market
the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of intermediary not to comply with any requirement under this Notification